O’Connor Law Offices Successful in Dismissing Civil Rights Claims in Whistleblower Case

Stockbroker Law - Tuesday, October 18, 2016
O’Connor Law Offices Successful in Dismissing Civil Rights Claims in Whistleblower Case

In a decision dated October 14, 2016, in the case of Collins v. Roe the United States District Court for the Northern District of New York dismissed the claims of the plaintiff against two individual defendants claimed to have been involved with the violation of the plaintiff’s civil rights and free speech in a retaliatory discharge claim filed by the plaintiff.  


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Why Brokers Should Fight Recruitment Bonus and Forgivable Loan Cases

Stockbroker Law - Tuesday, October 04, 2016
Why Brokers Should Fight Recruitment Bonus and Forgivable Loan Cases

Claims of FINRA-member firms against their former Registered Representatives now comprise approximately 40% of all claims filed with the FINRA Office of Dispute Resolution. This explosion of claims is related in large part to the initiatives of large brokerage firms, which, contemporaneous with the financial crisis of 2008-2009, used Troubled Asset Assistance Program (TARP) funds to retain brokers through retention bonuses and promissory notes in order to prevent further erosion of revenues caused by the crisis. The attached article explores why brokers should consider fighting promissory note cases brought against them by their former firms in FINRA arbitration proceedings.
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